0000899243-17-004294.txt : 20170215 0000899243-17-004294.hdr.sgml : 20170215 20170215204243 ACCESSION NUMBER: 0000899243-17-004294 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170213 FILED AS OF DATE: 20170215 DATE AS OF CHANGE: 20170215 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Hortonworks, Inc. CENTRAL INDEX KEY: 0001610532 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 371634325 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5470 GREAT AMERICA PARKWAY CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 408-916-4121 MAIL ADDRESS: STREET 1: 5470 GREAT AMERICA PARKWAY CITY: SANTA CLARA STATE: CA ZIP: 95054 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pavlik Greg CENTRAL INDEX KEY: 0001626754 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36780 FILM NUMBER: 17616232 MAIL ADDRESS: STREET 1: 3460 W. BAYSHORE ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-02-13 0 0001610532 Hortonworks, Inc. HDP 0001626754 Pavlik Greg C/O HORTONWORKS, INC. 5470 GREAT AMERICA PARKWAY SANTA CLARA CA 95054 0 1 0 0 Chief Product Officer Common Stock 2017-02-13 4 S 0 16422 10.64 D 333293 D Common Stock 2017-02-13 4 S 0 20000 10.64 D 113367 I Gregory Pavlik and Ruth Ann Pavlik, as trustees of the Pavlik Trust dated March 15, 2013 This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 13, 2016. Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $10.39 to $10.77 per share. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by the Reporting Person of each separate price within the range. /s/ Anne Kuykendall as Attorney-in-Fact for Gregory Pavlik 2017-02-15